Our Regulatory Arrangements
Our new outcomes-focused regulatory approach went live on 6 October 2011. The new approach is risk-based, concentrated less upon compliance with prescriptive rules and more explicitly focused upon the delivery of specific positive outcomes for clients.
The new regulatory regime is underpinned by the Handbook which sets out the regulatory responsibilities of all individuals and firms regulated by us. The previous Rules and Guidance Notes have been replaced with Codes which, wherever possible, are comprised of flexible, higher-level principles rather than detailed prescriptive requirements. Non-mandatory Guidance accompanies many of the Codes. The seven Frameworks set out our operating parameters.
The Client Charter identifies the Outcomes which clients of our regulated community have the right to expect and the options available to them if their expectations are not met.
details of which organisations have been issued with a licence to become a
Licensed Body (Alternative Business Structure), please refer to the relevant
register available below.
An explanation of the minor revisions (February 2013) to the Handbook can be dowloaded here.
The Handbook can be downloaded as a single PDF document, via the link above. Alternatively, each code can be viewed individually:
Regulatory Arrangements - Universal
Regulatory Arrangements - Specific
View the seven Frameworks in full as a single document
An explanation of the minor revisions (February 2013) to the Frameworks can be dowloaded here.
The seven Frameworks can be downloaded within a single PDF document, via the link above. Alternatively, each Framework can be viewed individually:
Licensed Body (ABS) Register
The CLC's Client Charter: The outcomes which clients of the regulated community have the right to expect,
and the options available to them if they do not receive these outcomes.
Discipline and Appeals Committee
General Regulatory Chamber - ABS Appeals
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